2021072636101 Dan Edward Droeg CRD 1509210 AWC sl (2022-1648945223580).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072636101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dan Edward Droeg (Respondent) Former General Securities Representative CRD No. 1509210 Pursuant to FINRA Rule 9216, Respondent Dan Edward Droeg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070900301 Michael Mandel CRD 4939165 AWC jlg (2022-1648858813468).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070900301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Mandel (Respondent) Former General Securities Representative CRD No. 4939165 Pursuant to FINRA Rule 9216, Respondent Michael Mandel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Regulatory Notice 22-07

Summary

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

2017053083501 Liquidnet, Inc. CRD 103987 AWC sl (2022-1648772498822).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053083501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Liquidnet, Inc. (Respondent) Member Firm CRD No. 103987 Pursuant to FINRA Rule 9216, Respondent Liquidnet, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070239501 Jayanth Hebbar CRD 5244889 AWC jlg (2022-1648772499133).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070239501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jayanth Hebbar (Respondent) Former Securities Trader CRD No. 5244889 Pursuant to FINRA Rule 9216, Respondent Jayanth Hebbar submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,
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